Capital market integrity relies on the ethical conduct of all participants. Although some conduct is prescribed by state and federal laws, most is left to self regulation. Given the recent financial crisis, trust and ethical conduct, are essential to restoration of faith in the capital markets. Investment professionals have responsibilities in this regard, but potential conflicts of interest or other gradients may obscure ethically superior decision-making.
The CFA Institute’s Code of Ethics and Standards of Professional Conduct is a key component of its mission to lead the global investment profession. It is also critical to maintaining capital market integrity and the public’s trust in the financial market.
The 90 -minute interactive presentation will examine several realistic situations that challenge participants to consider courses of action that serve investor interests as well as alternatives that may appear reasonable but compromise fiduciary obligations. Hand held “polling machines” will allow individual participants to weigh-in. Presented by Michael G. McMillan, PhD, CPA, CIC, CFA and moderated by Raazia Ganie, CFA